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BI/Form CRS) to address regulatory focal points often highlighted during the investment adviser regulatory examination process
Total Page Count: 63
Upon completion and signing
Version/Update: V4-09302023
planning and updating your annual compliance program
Broker-Dealer OSJ Branch Audit Records Request List (RRL) NY Office of the Attorney General Library BI/Form CRS) to address regulatoryThe updated OSJ Branch Office Preliminary Audit Records Request List (RRL) is typically used when preparing for a broker dealer OSJ compliance inspection. The Records Request List is designed to customize the list of broker dealer books & records (including updates for Reg BI Form CRS) to be provided for review both before and during the onsite portion of the compliance inspection. The RRL also gives the OSJ Branch a better understanding of the books
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